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June 20, 2017
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Current Investigations
FINRA Fines Aegis Capital Corporation According to FINRA, Aegis Capital Corporation (CRD #15007, New York, New York) submitted a Letter of Acceptance, Waiver and Consent (AWC) in which the firm was censured; fined $52,000; ordered to pay $615.87, plus interest, in restitution to investors; and required to revise its
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March 17, 2017
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Current Investigations, Securities Fraud
According to an SEC filing, three regulatory agencies are investigating Aegis Capital Corp. Aegis Capital Corp., a mid-sized broker-dealer based in New York City with 415 registered reps, is being investigated by three regulatory agencies, including the SEC, The Financial Industry Regulatory Authority Inc., the
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